Hiscox cyber policy application, held
The questions of the Cyber and Technology Professional Liability Insurance Application (US), held and mapped to the ISO 27001:2022 controls, the SOC 2 criteria and the NIST CSF 2.0 outcomes each one reaches. The source document (read 2026-10-11). The date shown is the date this copy was read, not a version the form itself states. This page quotes only the question each mapped row needs and states its source; it does not publish the carrier's form. A complete form would be held only under a stated policy for copyrighted forms. Hiscox is a source document, never a customer.
This document's questions reach 93 of 290 held controls. Whether an applicant is offered cover is the carrier’s underwriting decision. 7 questions here are flagged knockout (a "no" is a common decline point) and 7 flagged warranty (an answer the carrier relies on, that can affect cover if wrong).
An answer about an existing state of affairs can be relied on by the carrier, but in Australia and the United Kingdom a statement by the insured is a representation, not a warranty (the Insurance Contracts Act and the Insurance Act), and the position varies by US state.
Application question Does your business involve gambling or cannabis or adult content?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Have you been involved in a merger, acquisition, structural change, or consolidation with another entity in the last 12 months?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Is this information encrypted while at rest?
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
ISO 27001:2022 A.7.10 Storage media
Evidence to have on file (guidance, our wording)
- The topic-specific removable media policy and evidence it was communicated to users
- Endpoint configuration showing USB and SD ports disabled unless a business reason is approved, and monitoring of transfers to removable media
ISO 27001:2022 A.8.1 User end point devices
Evidence to have on file (guidance, our wording)
- The topic-specific endpoint policy covering classification limits, registration, software restrictions, updates, network connection rules, encryption, malware protection, remote wipe, backup and port control
- Device management (MDM or endpoint management) reports showing enrolment, encryption, patch level, firewall and anti-malware status
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.7 Restricting and protecting information in transmission, movement and removal
Evidence to have on file (guidance, our wording)
- TLS and encryption standards for data in transit
- Removable media policy and technical enforcement
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
Application question If No, is such information stored on a segregated server with role-based access controls?
ISO 27001:2022 A.5.15 Access control
Evidence to have on file (guidance, our wording)
- The topic-specific access control policy, approved and communicated, reflecting owner-defined business and security requirements
- Access control rules or role models mapping entities (users, services, devices) to rights, consistent with classification
ISO 27001:2022 A.5.16 Identity management
Evidence to have on file (guidance, our wording)
- Identity management procedure covering creation, verification, activation, change, disablement and removal
- Evidence that identities are verified against trusted documents before issue
ISO 27001:2022 A.5.18 Access rights
Evidence to have on file (guidance, our wording)
- Access request records showing owner authorization, and management approval where required, before rights were activated
- A central record of access rights per user identifier across logical and physical access
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.2 Registering and authorising users before issuing credentials
Evidence to have on file (guidance, our wording)
- Access request tickets with owner approval for a sample of new users, service accounts and API credentials
- Termination records reconciled to account disablement dates
NIST CSF 2.0 PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
Evidence to have on file (guidance, our wording)
- Identity management platform configuration baseline
- Joiner mover leaver workflow with timing SLAs
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question Is this information encrypted while in transit?
Answer options on this form: No / Yes.
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
ISO 27001:2022 A.5.14 Information transfer
Evidence to have on file (guidance, our wording)
- The topic-specific information transfer policy and its communication record
- Transfer agreements with third parties covering recipient authentication, protection levels, incident liability and labelling
SOC 2 CC6.7 Restricting and protecting information in transmission, movement and removal
Evidence to have on file (guidance, our wording)
- TLS and encryption standards for data in transit
- Removable media policy and technical enforcement
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question Is this information stored on mobile computing devices, including laptops or smart phones?
ISO 27001:2022 A.8.1 User end point devices
Evidence to have on file (guidance, our wording)
- The topic-specific endpoint policy covering classification limits, registration, software restrictions, updates, network connection rules, encryption, malware protection, remote wipe, backup and port control
- Device management (MDM or endpoint management) reports showing enrolment, encryption, patch level, firewall and anti-malware status
ISO 27001:2022 A.7.10 Storage media
Evidence to have on file (guidance, our wording)
- The topic-specific removable media policy and evidence it was communicated to users
- Endpoint configuration showing USB and SD ports disabled unless a business reason is approved, and monitoring of transfers to removable media
ISO 27001:2022 A.6.7 Remote working
Evidence to have on file (guidance, our wording)
- The topic-specific remote working policy defining conditions, permitted work, information classifications allowed and systems accessible
- Remote access configuration showing multi-factor authentication, secure channels or virtual desktops
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.7 Restricting and protecting information in transmission, movement and removal
Evidence to have on file (guidance, our wording)
- TLS and encryption standards for data in transit
- Removable media policy and technical enforcement
NIST CSF 2.0 PR.AA-06 Physical access to assets is managed, monitored, and enforced commensurate with risk
Evidence to have on file (guidance, our wording)
- Physical access control system inventory
- Badge issuance and revocation records
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question If Yes, are such devices encrypted?
Answer options on this form: No / Yes.
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
Application question PCI DSS v.3.2 (Payment Card Industry Data Security Standard?
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
ISO 27001:2022 A.5.15 Access control
Evidence to have on file (guidance, our wording)
- The topic-specific access control policy, approved and communicated, reflecting owner-defined business and security requirements
- Access control rules or role models mapping entities (users, services, devices) to rights, consistent with classification
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.7 Restricting and protecting information in transmission, movement and removal
Evidence to have on file (guidance, our wording)
- TLS and encryption standards for data in transit
- Removable media policy and technical enforcement
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question GDPR (EU General Data Protection Regulation?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question HIPAA (Health Insurance Portability and Accountability Act?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question CCPA (California Consumer Privacy Act?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question BIPA (Biometric Information Privacy Act?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question Who is responsible for privacy and information security within your organization?
ISO 27001:2022 A.5.1 Policies for information security
Evidence to have on file (guidance, our wording)
- The top-level information security policy with top management approval, covering the definition, objectives or objective-setting framework, principles, commitments to requirements and continual improvement, role assignments and the exceptions procedure
- The register of topic-specific policies with an owner, approving manager and version for each
ISO 27001:2022 A.5.2 Information security roles and responsibilities
Evidence to have on file (guidance, our wording)
- A documented roles and responsibilities matrix covering asset protection, specific security processes, risk management and residual risk acceptance, and user duties
- Named risk owners with evidence that they accepted residual risks
ISO 27001:2022 A.5.4 Management responsibilities
Evidence to have on file (guidance, our wording)
- Evidence that security briefings on roles and responsibilities occur before access is granted, such as onboarding checklists tied to access provisioning
- Role-specific guidance documents setting out security expectations
SOC 2 CC1.3 Structures, reporting lines, authorities and responsibilities (COSO principle 3)
Evidence to have on file (guidance, our wording)
- Current organisation chart including security, IT operations, compliance and privacy functions
- Job descriptions or RACI naming security and privacy responsibilities
SOC 2 CC5.3 Deploying controls through policies and procedures (COSO principle 12)
Evidence to have on file (guidance, our wording)
- Approved information security policy set with owners and review dates
- Evidence of annual policy review and approval
NIST CSF 2.0 GV.PO-01 Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced
Evidence to have on file (guidance, our wording)
- Cybersecurity risk management policy approved by leadership
- Policy linkage matrix to standards and procedures
NIST CSF 2.0 GV.RR-01 Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving
Evidence to have on file (guidance, our wording)
- Board cyber accountability charter
- Executive cyber scorecard with named owners
Application question A written corporate privacy policy which is reviewed by a qualified lawyer and actively followed?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question If Yes, is this policy regularly updated?
ISO 27001:2022 A.5.1 Policies for information security
Evidence to have on file (guidance, our wording)
- The top-level information security policy with top management approval, covering the definition, objectives or objective-setting framework, principles, commitments to requirements and continual improvement, role assignments and the exceptions procedure
- The register of topic-specific policies with an owner, approving manager and version for each
ISO 27001:2022 A.5.2 Information security roles and responsibilities
Evidence to have on file (guidance, our wording)
- A documented roles and responsibilities matrix covering asset protection, specific security processes, risk management and residual risk acceptance, and user duties
- Named risk owners with evidence that they accepted residual risks
ISO 27001:2022 A.5.4 Management responsibilities
Evidence to have on file (guidance, our wording)
- Evidence that security briefings on roles and responsibilities occur before access is granted, such as onboarding checklists tied to access provisioning
- Role-specific guidance documents setting out security expectations
SOC 2 CC1.3 Structures, reporting lines, authorities and responsibilities (COSO principle 3)
Evidence to have on file (guidance, our wording)
- Current organisation chart including security, IT operations, compliance and privacy functions
- Job descriptions or RACI naming security and privacy responsibilities
SOC 2 CC5.3 Deploying controls through policies and procedures (COSO principle 12)
Evidence to have on file (guidance, our wording)
- Approved information security policy set with owners and review dates
- Evidence of annual policy review and approval
NIST CSF 2.0 GV.PO-01 Policy for managing cybersecurity risks is established based on organizational context, cybersecurity strategy, and priorities and is communicated and enforced
Evidence to have on file (guidance, our wording)
- Cybersecurity risk management policy approved by leadership
- Policy linkage matrix to standards and procedures
NIST CSF 2.0 GV.RR-01 Organizational leadership is responsible and accountable for cybersecurity risk and fosters a culture that is risk-aware, ethical, and continually improving
Evidence to have on file (guidance, our wording)
- Board cyber accountability charter
- Executive cyber scorecard with named owners
Application question Formal policies and procedures around the retention, destruction, and purging of data?
ISO 27001:2022 A.5.33 Protection of records
Evidence to have on file (guidance, our wording)
- Records handling guidelines covering storage, chain of custody, tamper prevention and disposal, aligned with the records management policy
- A retention schedule listing record types, retention periods, legal basis and permitted storage media
ISO 27001:2022 A.8.10 Information deletion
Evidence to have on file (guidance, our wording)
- The data retention topic-specific policy with deletion triggers per information type
- Configuration of automated deletion after retention periods or on data subject requests
ISO 27001:2022 A.7.14 Secure disposal or re-use of equipment
Evidence to have on file (guidance, our wording)
- A disposal and reuse procedure requiring verification that equipment is checked for storage media and sanitized
- Sanitization or destruction certificates identifying each device, method used and verifier
SOC 2 P4.2 Retaining personal information
Evidence to have on file (guidance, our wording)
- Retention schedule for personal information categories
- Evidence of automated retention enforcement
SOC 2 P4.3 Securely disposing of personal information
Evidence to have on file (guidance, our wording)
- Deletion request log with completion evidence
- Anonymisation or destruction procedure
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question Screening of potential employees (e.g. background, drug, criminal, credit, etc.?
ISO 27001:2022 A.6.1 Screening
Evidence to have on file (guidance, our wording)
- A screening procedure defining criteria, depth by role and classification, who performs checks, and when and why they are done
- Screening records for a sample of new joiners showing references, CV verification, qualification confirmation and identity checks
SOC 2 CC1.4 Attracting, developing and retaining competent people (COSO principle 4)
Evidence to have on file (guidance, our wording)
- Background check policy and completed checks for a sample of new hires and contractors
- Role competency requirements and performance review records
NIST CSF 2.0 GV.RR-04 Cybersecurity is included in human resources practices
Evidence to have on file (guidance, our wording)
- HR policies covering hiring, transfer, and termination security
- Background screening standards by role sensitivity
Application question Regular cyber security assessments of your systems performed by third parties?
ISO 27001:2022 A.5.19 Information security in supplier relationships
Evidence to have on file (guidance, our wording)
- The topic-specific supplier relationship policy and its communication record
- A supplier inventory categorized by type and by the information, services and infrastructure each can access
ISO 27001:2022 A.5.20 Addressing information security within supplier agreements
Evidence to have on file (guidance, our wording)
- Supplier agreements containing security clauses proportionate to the relationship, such as classification mapping, agreed controls, incident notification, subcontracting, right to audit and termination terms
- A register of contracts, memoranda and information-sharing arrangements with outside parties showing what information each covers and when it was last reviewed
ISO 27001:2022 A.5.21 Managing information security in the information and communication technology (ICT) supply chain
Evidence to have on file (guidance, our wording)
- Security requirements included in ICT acquisition specifications and contracts, including flow-down to sub-suppliers
- Software component information such as SBOMs and descriptions of security functions and secure configuration obtained from product suppliers
SOC 2 CC9.2 Assessing and managing vendor and business partner risk
Evidence to have on file (guidance, our wording)
- Vendor inventory with risk tiers and the review frequency set for each tier
- Due diligence records, for example vendor SOC reports reviewed with complementary controls noted
SOC 2 P6.4 Privacy commitments from vendors and third parties
Evidence to have on file (guidance, our wording)
- Data processing agreements with privacy clauses
- Periodic assessments of vendors' privacy compliance
NIST CSF 2.0 GV.SC-01 A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders
Evidence to have on file (guidance, our wording)
- Third party risk management program charter
- Supplier risk policy with tiering criteria
NIST CSF 2.0 GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties
Evidence to have on file (guidance, our wording)
- Standard supplier security requirements catalog
- Contract clause library with cyber obligations
Application question in place with all third parties that have access to sensitive information, including business associate agreements?
ISO 27001:2022 A.5.15 Access control
Evidence to have on file (guidance, our wording)
- The topic-specific access control policy, approved and communicated, reflecting owner-defined business and security requirements
- Access control rules or role models mapping entities (users, services, devices) to rights, consistent with classification
ISO 27001:2022 A.5.16 Identity management
Evidence to have on file (guidance, our wording)
- Identity management procedure covering creation, verification, activation, change, disablement and removal
- Evidence that identities are verified against trusted documents before issue
ISO 27001:2022 A.5.18 Access rights
Evidence to have on file (guidance, our wording)
- Access request records showing owner authorization, and management approval where required, before rights were activated
- A central record of access rights per user identifier across logical and physical access
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.2 Registering and authorising users before issuing credentials
Evidence to have on file (guidance, our wording)
- Access request tickets with owner approval for a sample of new users, service accounts and API credentials
- Termination records reconciled to account disablement dates
NIST CSF 2.0 PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
Evidence to have on file (guidance, our wording)
- Identity management platform configuration baseline
- Joiner mover leaver workflow with timing SLAs
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question If Yes, do you ensure these contracts contain hold harmless/indemnity clauses that benefit you?
ISO 27001:2022 A.5.19 Information security in supplier relationships
Evidence to have on file (guidance, our wording)
- The topic-specific supplier relationship policy and its communication record
- A supplier inventory categorized by type and by the information, services and infrastructure each can access
ISO 27001:2022 A.5.20 Addressing information security within supplier agreements
Evidence to have on file (guidance, our wording)
- Supplier agreements containing security clauses proportionate to the relationship, such as classification mapping, agreed controls, incident notification, subcontracting, right to audit and termination terms
- A register of contracts, memoranda and information-sharing arrangements with outside parties showing what information each covers and when it was last reviewed
ISO 27001:2022 A.5.21 Managing information security in the information and communication technology (ICT) supply chain
Evidence to have on file (guidance, our wording)
- Security requirements included in ICT acquisition specifications and contracts, including flow-down to sub-suppliers
- Software component information such as SBOMs and descriptions of security functions and secure configuration obtained from product suppliers
SOC 2 CC9.2 Assessing and managing vendor and business partner risk
Evidence to have on file (guidance, our wording)
- Vendor inventory with risk tiers and the review frequency set for each tier
- Due diligence records, for example vendor SOC reports reviewed with complementary controls noted
SOC 2 P6.4 Privacy commitments from vendors and third parties
Evidence to have on file (guidance, our wording)
- Data processing agreements with privacy clauses
- Periodic assessments of vendors' privacy compliance
NIST CSF 2.0 GV.SC-01 A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders
Evidence to have on file (guidance, our wording)
- Third party risk management program charter
- Supplier risk policy with tiering criteria
NIST CSF 2.0 GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties
Evidence to have on file (guidance, our wording)
- Standard supplier security requirements catalog
- Contract clause library with cyber obligations
Application question Do you have procedures in place to vet the security and privacy controls of your vendors and outsourcers?
ISO 27001:2022 A.5.19 Information security in supplier relationships
Evidence to have on file (guidance, our wording)
- The topic-specific supplier relationship policy and its communication record
- A supplier inventory categorized by type and by the information, services and infrastructure each can access
ISO 27001:2022 A.5.20 Addressing information security within supplier agreements
Evidence to have on file (guidance, our wording)
- Supplier agreements containing security clauses proportionate to the relationship, such as classification mapping, agreed controls, incident notification, subcontracting, right to audit and termination terms
- A register of contracts, memoranda and information-sharing arrangements with outside parties showing what information each covers and when it was last reviewed
ISO 27001:2022 A.5.21 Managing information security in the information and communication technology (ICT) supply chain
Evidence to have on file (guidance, our wording)
- Security requirements included in ICT acquisition specifications and contracts, including flow-down to sub-suppliers
- Software component information such as SBOMs and descriptions of security functions and secure configuration obtained from product suppliers
SOC 2 CC9.2 Assessing and managing vendor and business partner risk
Evidence to have on file (guidance, our wording)
- Vendor inventory with risk tiers and the review frequency set for each tier
- Due diligence records, for example vendor SOC reports reviewed with complementary controls noted
SOC 2 P6.4 Privacy commitments from vendors and third parties
Evidence to have on file (guidance, our wording)
- Data processing agreements with privacy clauses
- Periodic assessments of vendors' privacy compliance
NIST CSF 2.0 GV.SC-01 A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders
Evidence to have on file (guidance, our wording)
- Third party risk management program charter
- Supplier risk policy with tiering criteria
NIST CSF 2.0 GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties
Evidence to have on file (guidance, our wording)
- Standard supplier security requirements catalog
- Contract clause library with cyber obligations
Application question The use of anti-virus software on all computer devices and networks?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.7 Protection against malware
Evidence to have on file (guidance, our wording)
- Anti-malware deployment and update status reports across endpoints, servers and gateways
- Application allowlisting and malicious website blocking configurations
ISO 27001:2022 A.8.1 User end point devices
Evidence to have on file (guidance, our wording)
- The topic-specific endpoint policy covering classification limits, registration, software restrictions, updates, network connection rules, encryption, malware protection, remote wipe, backup and port control
- Device management (MDM or endpoint management) reports showing enrolment, encryption, patch level, firewall and anti-malware status
SOC 2 CC6.8 Preventing and detecting unauthorised or malicious software
Evidence to have on file (guidance, our wording)
- Endpoint protection coverage report across servers and workstations
- Local administrator and software installation restrictions
NIST CSF 2.0 PR.PS-05 Installation and execution of unauthorized software are prevented
Evidence to have on file (guidance, our wording)
- Application allowlist policy and tooling configuration
- Endpoint protection deployment reports
NIST CSF 2.0 DE.CM-09 Computing hardware and software, runtime environments, and their data are monitored to find potentially adverse events
Evidence to have on file (guidance, our wording)
- EDR coverage report by asset class
- File integrity monitoring baseline and drift alerts
Application question Regular updating and patching of critical systems and software in a timely manner?
ISO 27001:2022 A.8.8 Management of technical vulnerabilities
Evidence to have on file (guidance, our wording)
- A software asset inventory with vendor, product, version, deployment location and responsible owner
- Defined vulnerability management roles and a list of monitored vulnerability information sources
ISO 27001:2022 A.8.19 Installation of software on operational systems
Evidence to have on file (guidance, our wording)
- Procedures for installing and updating operational software, including authorization, testing and rollback planning
- Change and deployment records showing management authorization, successful testing and the administrator who performed the installation
ISO 27001:2022 A.8.29 Security testing in development and acceptance
Evidence to have on file (guidance, our wording)
- Security test plans with schedules, inputs, expected outputs, evaluation criteria and decisions, scaled to the system's importance and change impact
- Security test results covering authentication, access restriction, cryptography, secure coding and configuration
SOC 2 CC7.1 Detecting configuration changes and new vulnerabilities
Evidence to have on file (guidance, our wording)
- Hardening standards or benchmarks for in-scope platforms
- Configuration compliance scan results
NIST CSF 2.0 ID.RA-01 Vulnerabilities in assets are identified, validated, and recorded
Evidence to have on file (guidance, our wording)
- Vulnerability scanning coverage report
- Vulnerability triage workflow with severity SLAs
NIST CSF 2.0 PR.PS-02 Software is maintained, replaced, and removed commensurate with risk
Evidence to have on file (guidance, our wording)
- Software lifecycle policy with end of support tracking
- Patch management cadence and exception register
Application question in place that scan both encrypted and unencrypted data to restrict network traffic?
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
ISO 27001:2022 A.7.10 Storage media
Evidence to have on file (guidance, our wording)
- The topic-specific removable media policy and evidence it was communicated to users
- Endpoint configuration showing USB and SD ports disabled unless a business reason is approved, and monitoring of transfers to removable media
ISO 27001:2022 A.8.1 User end point devices
Evidence to have on file (guidance, our wording)
- The topic-specific endpoint policy covering classification limits, registration, software restrictions, updates, network connection rules, encryption, malware protection, remote wipe, backup and port control
- Device management (MDM or endpoint management) reports showing enrolment, encryption, patch level, firewall and anti-malware status
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.7 Restricting and protecting information in transmission, movement and removal
Evidence to have on file (guidance, our wording)
- TLS and encryption standards for data in transit
- Removable media policy and technical enforcement
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
Application question A policy that requires strong passwords that should be updated on a regular basis?
ISO 27001:2022 A.5.17 Authentication information
Evidence to have on file (guidance, our wording)
- Credential issuance procedure requiring identity verification before new, replacement or temporary credentials are provided
- Evidence that initial credentials are unique, delivered over protected channels and changed at first use
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
NIST CSF 2.0 PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
Evidence to have on file (guidance, our wording)
- Identity management platform configuration baseline
- Joiner mover leaver workflow with timing SLAs
Application question Employee access to systems and data is limited to only what they need to do their job?
ISO 27001:2022 A.5.15 Access control
Evidence to have on file (guidance, our wording)
- The topic-specific access control policy, approved and communicated, reflecting owner-defined business and security requirements
- Access control rules or role models mapping entities (users, services, devices) to rights, consistent with classification
ISO 27001:2022 A.5.16 Identity management
Evidence to have on file (guidance, our wording)
- Identity management procedure covering creation, verification, activation, change, disablement and removal
- Evidence that identities are verified against trusted documents before issue
ISO 27001:2022 A.5.18 Access rights
Evidence to have on file (guidance, our wording)
- Access request records showing owner authorization, and management approval where required, before rights were activated
- A central record of access rights per user identifier across logical and physical access
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.2 Registering and authorising users before issuing credentials
Evidence to have on file (guidance, our wording)
- Access request tickets with owner approval for a sample of new users, service accounts and API credentials
- Termination records reconciled to account disablement dates
NIST CSF 2.0 PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
Evidence to have on file (guidance, our wording)
- Identity management platform configuration baseline
- Joiner mover leaver workflow with timing SLAs
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question Employee access to systems and data is cut when employees leave the organization?
ISO 27001:2022 A.5.15 Access control
Evidence to have on file (guidance, our wording)
- The topic-specific access control policy, approved and communicated, reflecting owner-defined business and security requirements
- Access control rules or role models mapping entities (users, services, devices) to rights, consistent with classification
ISO 27001:2022 A.5.16 Identity management
Evidence to have on file (guidance, our wording)
- Identity management procedure covering creation, verification, activation, change, disablement and removal
- Evidence that identities are verified against trusted documents before issue
ISO 27001:2022 A.5.18 Access rights
Evidence to have on file (guidance, our wording)
- Access request records showing owner authorization, and management approval where required, before rights were activated
- A central record of access rights per user identifier across logical and physical access
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.2 Registering and authorising users before issuing credentials
Evidence to have on file (guidance, our wording)
- Access request tickets with owner approval for a sample of new users, service accounts and API credentials
- Termination records reconciled to account disablement dates
NIST CSF 2.0 PR.AA-01 Identities and credentials for authorized users, services, and hardware are managed by the organization
Evidence to have on file (guidance, our wording)
- Identity management platform configuration baseline
- Joiner mover leaver workflow with timing SLAs
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question Multi-factor authentication in place for remote access by employees?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
ISO 27001:2022 A.5.17 Authentication information
Evidence to have on file (guidance, our wording)
- Credential issuance procedure requiring identity verification before new, replacement or temporary credentials are provided
- Evidence that initial credentials are unique, delivered over protected channels and changed at first use
ISO 27001:2022 A.6.7 Remote working
Evidence to have on file (guidance, our wording)
- The topic-specific remote working policy defining conditions, permitted work, information classifications allowed and systems accessible
- Remote access configuration showing multi-factor authentication, secure channels or virtual desktops
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.6 Protection against threats from outside the system boundary
Evidence to have on file (guidance, our wording)
- Firewall and security group rule sets with review evidence
- MFA enforced on VPN, remote and administrative access
NIST CSF 2.0 PR.AA-03 Users, services, and hardware are authenticated
Evidence to have on file (guidance, our wording)
- Multi factor authentication coverage report
- Phishing resistant authentication rollout plan
NIST CSF 2.0 PR.IR-01 Networks and environments are protected from unauthorized logical access and usage
Evidence to have on file (guidance, our wording)
- Network segmentation design with zones and trust levels
- Firewall and access control list governance
Application question Multi-factor authentication in place for remote access by third parties?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
ISO 27001:2022 A.5.17 Authentication information
Evidence to have on file (guidance, our wording)
- Credential issuance procedure requiring identity verification before new, replacement or temporary credentials are provided
- Evidence that initial credentials are unique, delivered over protected channels and changed at first use
ISO 27001:2022 A.6.7 Remote working
Evidence to have on file (guidance, our wording)
- The topic-specific remote working policy defining conditions, permitted work, information classifications allowed and systems accessible
- Remote access configuration showing multi-factor authentication, secure channels or virtual desktops
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 CC6.6 Protection against threats from outside the system boundary
Evidence to have on file (guidance, our wording)
- Firewall and security group rule sets with review evidence
- MFA enforced on VPN, remote and administrative access
NIST CSF 2.0 PR.AA-03 Users, services, and hardware are authenticated
Evidence to have on file (guidance, our wording)
- Multi factor authentication coverage report
- Phishing resistant authentication rollout plan
NIST CSF 2.0 PR.IR-01 Networks and environments are protected from unauthorized logical access and usage
Evidence to have on file (guidance, our wording)
- Network segmentation design with zones and trust levels
- Firewall and access control list governance
Application question Do you have a Business Continuity or Disaster Recovery Plan in place that covers cyber event scenarios, such as ransomware attacks?
ISO 27001:2022 A.5.29 Information security during disruption
Evidence to have on file (guidance, our wording)
- Business continuity plans that contain information security requirements and the controls, systems and tools needed during disruption
- A documented analysis of which security controls must be adapted during disruption and how
ISO 27001:2022 A.5.30 ICT readiness for business continuity
Evidence to have on file (guidance, our wording)
- The business impact analysis with prioritized activities, supporting ICT services and their RTOs, and RPOs for required information
- Selected ICT continuity strategies covering before, during and after disruption
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 CC9.1 Mitigating risks of business disruption
Evidence to have on file (guidance, our wording)
- Business continuity and disaster recovery plans covering the in-scope service
- Business impact analysis
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
NIST CSF 2.0 PR.IR-03 Mechanisms are implemented to achieve resilience requirements in normal and adverse situations
Evidence to have on file (guidance, our wording)
- Resilience architecture patterns for critical services
- Failover and failback tested with evidence
NIST CSF 2.0 RC.RP-01 The recovery portion of the incident response plan is executed once initiated from the incident response process
Evidence to have on file (guidance, our wording)
- Recovery plan with triggers and decision rights
- Execution log of recovery activities
Application question If Yes, is this Plan regularly tested?
ISO 27001:2022 A.5.29 Information security during disruption
Evidence to have on file (guidance, our wording)
- Business continuity plans that contain information security requirements and the controls, systems and tools needed during disruption
- A documented analysis of which security controls must be adapted during disruption and how
ISO 27001:2022 A.5.30 ICT readiness for business continuity
Evidence to have on file (guidance, our wording)
- The business impact analysis with prioritized activities, supporting ICT services and their RTOs, and RPOs for required information
- Selected ICT continuity strategies covering before, during and after disruption
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 CC9.1 Mitigating risks of business disruption
Evidence to have on file (guidance, our wording)
- Business continuity and disaster recovery plans covering the in-scope service
- Business impact analysis
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
NIST CSF 2.0 PR.IR-03 Mechanisms are implemented to achieve resilience requirements in normal and adverse situations
Evidence to have on file (guidance, our wording)
- Resilience architecture patterns for critical services
- Failover and failback tested with evidence
NIST CSF 2.0 RC.RP-01 The recovery portion of the incident response plan is executed once initiated from the incident response process
Evidence to have on file (guidance, our wording)
- Recovery plan with triggers and decision rights
- Execution log of recovery activities
Application question If you suffer a network disruption, how long would it take to become fully operational?
ISO 27001:2022 A.5.29 Information security during disruption
Evidence to have on file (guidance, our wording)
- Business continuity plans that contain information security requirements and the controls, systems and tools needed during disruption
- A documented analysis of which security controls must be adapted during disruption and how
ISO 27001:2022 A.5.30 ICT readiness for business continuity
Evidence to have on file (guidance, our wording)
- The business impact analysis with prioritized activities, supporting ICT services and their RTOs, and RPOs for required information
- Selected ICT continuity strategies covering before, during and after disruption
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 CC9.1 Mitigating risks of business disruption
Evidence to have on file (guidance, our wording)
- Business continuity and disaster recovery plans covering the in-scope service
- Business impact analysis
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
NIST CSF 2.0 PR.IR-03 Mechanisms are implemented to achieve resilience requirements in normal and adverse situations
Evidence to have on file (guidance, our wording)
- Resilience architecture patterns for critical services
- Failover and failback tested with evidence
NIST CSF 2.0 RC.RP-01 The recovery portion of the incident response plan is executed once initiated from the incident response process
Evidence to have on file (guidance, our wording)
- Recovery plan with triggers and decision rights
- Execution log of recovery activities
Application question Do you have a written incident response plan in the event that Personally Identifiable Information is/may be compromised?
ISO 27001:2022 A.5.24 Information security incident management planning and preparation
Evidence to have on file (guidance, our wording)
- An approved incident management plan and procedures covering evaluation, detection, classification, escalation, recovery, communication, evidence handling and post-incident review
- Incident management objectives and priorities agreed with management, including resolution time frames by severity
ISO 27001:2022 A.5.25 Assessment and decision on information security events
Evidence to have on file (guidance, our wording)
- The agreed incident categorization and prioritization scheme with criteria for declaring an incident and consequence levels
- Triage records showing each reported event assessed against the scheme
ISO 27001:2022 A.5.26 Response to information security incidents
Evidence to have on file (guidance, our wording)
- Documented incident response procedures or playbooks communicated to relevant parties
- Incident records showing containment, evidence collection, escalation, communication and formal closure
SOC 2 CC7.3 Evaluating security events to identify incidents
Evidence to have on file (guidance, our wording)
- Incident classification and severity criteria
- Security event log showing triage decisions
SOC 2 CC7.4 Responding to security incidents
Evidence to have on file (guidance, our wording)
- Incident response plan with roles and contact lists
- Incident tickets showing containment, eradication, recovery and communication
NIST CSF 2.0 RS.MA-01 The incident response plan is executed in coordination with relevant third parties once an incident is declared
Evidence to have on file (guidance, our wording)
- Incident response plan with third party invocation
- Retainer contract evidence for IR vendor
NIST CSF 2.0 RS.CO-02 Internal and external stakeholders are notified of incidents
Evidence to have on file (guidance, our wording)
- Incident notification policy and timing matrix
- Internal stakeholder communication templates
Application question Please specify how often you back-up all of your critical data and systems?
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question please indicate frequency) Never Is the back-up disconnected from your systems?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question If Yes, is the back-up regularly tested?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question If you have a back-up of all of your critical data and systems, does that include an offline copy?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question If Yes, how old is the back-up?
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question Do you utilize cloud back-ups?
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
ISO 27001:2022 A.8.14 Redundancy of information processing facilities
Evidence to have on file (guidance, our wording)
- Documented availability requirements for business services and systems
- Architecture diagrams showing redundancy such as dual providers, redundant networks, separate data centres, redundant power and load-balanced instances
ISO 27001:2022 A.7.1 Physical security perimeters
Evidence to have on file (guidance, our wording)
- Site plans showing defined security perimeters and their strength relative to the assets inside
- Physical security surveys or assessments of walls, roofs, floors, doors, windows and vents
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
SOC 2 A1.3 Testing recovery plan procedures
Evidence to have on file (guidance, our wording)
- Disaster recovery or continuity test plan and results in the period
- Backup restore test records with verification of completeness
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
NIST CSF 2.0 PR.AA-06 Physical access to assets is managed, monitored, and enforced commensurate with risk
Evidence to have on file (guidance, our wording)
- Physical access control system inventory
- Badge issuance and revocation records
Application question If Yes, are the cloud back-ups secured via two-factor authentication or other similar means?
Flagged knockout: the wording of this question makes a "no" a common point at which a cyber application is declined or referred.
Flagged warranty: where the carrier declares its answers to be the basis of the contract, this is an answer the carrier relies on and that can affect cover if it is wrong.
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
ISO 27001:2022 A.5.17 Authentication information
Evidence to have on file (guidance, our wording)
- Credential issuance procedure requiring identity verification before new, replacement or temporary credentials are provided
- Evidence that initial credentials are unique, delivered over protected channels and changed at first use
ISO 27001:2022 A.8.13 Information backup
Evidence to have on file (guidance, our wording)
- The topic-specific backup policy and backup plans stating scope, extent, frequency and retention per system aligned with RPO
- Backup job monitoring reports with evidence that failed jobs were investigated and rerun
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
SOC 2 A1.2 Environmental protection, backup and recovery infrastructure
Evidence to have on file (guidance, our wording)
- Backup policy defining scope, frequency and retention
- Backup job monitoring and failure remediation records
NIST CSF 2.0 PR.AA-03 Users, services, and hardware are authenticated
Evidence to have on file (guidance, our wording)
- Multi factor authentication coverage report
- Phishing resistant authentication rollout plan
NIST CSF 2.0 PR.DS-11 Backups of data are created, protected, maintained, and tested
Evidence to have on file (guidance, our wording)
- Backup policy with frequency and retention
- Backup integrity test reports
Application question Before acting on a transfer, do you verify the request or account detail changes using a method other than the initial contact method (Example: the initial request is received by mail and verification is done by telephone?
ISO 27001:2022 A.5.3 Segregation of duties
Evidence to have on file (guidance, our wording)
- the bank or treasury platform dual-authorisation setup and the payment approval workflow, showing a second approver on a different device above the threshold
- the callback or out-of-band verification procedure for a change to payee bank details, with a dated example
ISO 27001:2022 A.6.3 Information security awareness, education and training
Evidence to have on file (guidance, our wording)
- A documented awareness, education and training programme aligned with the policies and planned by role, including external personnel
- Completion records for initial training of new starters and role changers and for periodic refreshers
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
SOC 2 CC6.3 Role-based access, least privilege and segregation of duties
Evidence to have on file (guidance, our wording)
- the bank or treasury platform dual-authorisation setup and the payment approval workflow, showing a second approver on a different device above the threshold
- the callback or out-of-band verification procedure for a change to payee bank details, with a dated example
SOC 2 CC3.3 Considering fraud risk (COSO principle 8)
Evidence to have on file (guidance, our wording)
- Fraud risk assessment or fraud section of the enterprise risk assessment
- Analysis of privileged access and data misuse scenarios
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question If Yes, what amount?
This is a scoping question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Are procedures followed for transfers requests coming from both internal and external sources?
No held control answers this line.
Application question Obtaining all necessary and proper rights when using content developed by third parties?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Legal review of all content disseminated by you?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question DMCA or similar?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Obtaining consent from individuals when collecting Personally Identifiable Information?
ISO 27001:2022 A.5.34 Privacy and protection of personal identifiable information (PII)
Evidence to have on file (guidance, our wording)
- The topic-specific privacy and PII protection policy and its communication to relevant parties
- Privacy procedures communicated to everyone who processes PII
ISO 27001:2022 A.5.31 Legal, statutory, regulatory and contractual requirements
Evidence to have on file (guidance, our wording)
- A register of applicable laws, regulations and contractual obligations for information security, with the countries covered, the approach to meeting each and a named responsible owner
- Records of periodic review of the register and of new or changed legislation identified
SOC 2 P1.1 Privacy notice to data subjects
Evidence to have on file (guidance, our wording)
- Published privacy notice with effective date and version history
- Evidence notice is presented at collection points (forms, apps)
SOC 2 P3.1 Collecting personal information consistent with objectives
Evidence to have on file (guidance, our wording)
- Data inventory showing purpose for each personal data field
- Privacy review of new collection forms or features
NIST CSF 2.0 GV.OC-03 Legal, regulatory, and contractual requirements regarding cybersecurity - including privacy and civil liberties obligations - are understood and managed
Evidence to have on file (guidance, our wording)
- Legal and regulatory obligations register with owners
- Contractual security clauses summary across customer base
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
Application question in place to ensure compliance with the Telephone Consumer Protection Act, anti-SPAM statutes, and any other consumer protection act?
ISO 27001:2022 A.8.23 Web filtering
Evidence to have on file (guidance, our wording)
- Current rules on safe, proper use of online resources
- Web filtering or secure web gateway configuration showing blocked categories such as malicious, phishing, command and control, illegal content and upload sites
ISO 27001:2022 A.8.7 Protection against malware
Evidence to have on file (guidance, our wording)
- Anti-malware deployment and update status reports across endpoints, servers and gateways
- Application allowlisting and malicious website blocking configurations
ISO 27001:2022 A.5.14 Information transfer
Evidence to have on file (guidance, our wording)
- The topic-specific information transfer policy and its communication record
- Transfer agreements with third parties covering recipient authentication, protection levels, incident liability and labelling
SOC 2 CC6.8 Preventing and detecting unauthorised or malicious software
Evidence to have on file (guidance, our wording)
- Endpoint protection coverage report across servers and workstations
- Local administrator and software installation restrictions
NIST CSF 2.0 PR.PS-05 Installation and execution of unauthorized software are prevented
Evidence to have on file (guidance, our wording)
- Application allowlist policy and tooling configuration
- Endpoint protection deployment reports
Application question Do you always use written contracts when performing your technology services for a client?
No held control answers this line.
Application question Have you had your standard contract terms and conditions reviewed by a suitably qualified attorney?
No held control answers this line.
Application question What percentage of your contracts are based on non-standard contract terms?
This is a scoping question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question If you use non-standard contract terms, do you have a suitably qualified attorney review the contract?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Approximately what percentage of your contracts include the following?
This is a scoping question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Is formal signoff and acceptance required when mid-project changes are requested?
ISO 27001:2022 A.8.32 Change management
Evidence to have on file (guidance, our wording)
- The documented change management procedure covering infrastructure and software, integrated where practical
- Change records showing impact and dependency assessment, authorization, stakeholder communication, testing and acceptance, deployment plan and fallback
ISO 27001:2022 6.3 Planning of changes
Evidence to have on file (guidance, our wording)
- A procedure or approach for planning changes to the ISMS
- Records of ISMS changes showing the reason, plan, responsibilities and timing
SOC 2 CC8.1 Managing changes to procedures, software, data and infrastructure
Evidence to have on file (guidance, our wording)
- Change management policy covering normal, standard and emergency changes
- Sample of change tickets with approval, testing evidence and deployer different from author
NIST CSF 2.0 ID.RA-07 Changes and exceptions are managed, assessed for risk impact, recorded, and tracked
Evidence to have on file (guidance, our wording)
- Change management workflow with risk assessment gate
- Exception register with risk impact analysis
Application question Do you contractually indemnify your clients for costs they incur as a result of your breach of their sensitive data?
ISO 27001:2022 A.5.19 Information security in supplier relationships
Evidence to have on file (guidance, our wording)
- The topic-specific supplier relationship policy and its communication record
- A supplier inventory categorized by type and by the information, services and infrastructure each can access
ISO 27001:2022 A.5.20 Addressing information security within supplier agreements
Evidence to have on file (guidance, our wording)
- Supplier agreements containing security clauses proportionate to the relationship, such as classification mapping, agreed controls, incident notification, subcontracting, right to audit and termination terms
- A register of contracts, memoranda and information-sharing arrangements with outside parties showing what information each covers and when it was last reviewed
ISO 27001:2022 A.5.21 Managing information security in the information and communication technology (ICT) supply chain
Evidence to have on file (guidance, our wording)
- Security requirements included in ICT acquisition specifications and contracts, including flow-down to sub-suppliers
- Software component information such as SBOMs and descriptions of security functions and secure configuration obtained from product suppliers
SOC 2 CC9.2 Assessing and managing vendor and business partner risk
Evidence to have on file (guidance, our wording)
- Vendor inventory with risk tiers and the review frequency set for each tier
- Due diligence records, for example vendor SOC reports reviewed with complementary controls noted
SOC 2 P6.4 Privacy commitments from vendors and third parties
Evidence to have on file (guidance, our wording)
- Data processing agreements with privacy clauses
- Periodic assessments of vendors' privacy compliance
NIST CSF 2.0 GV.SC-01 A cybersecurity supply chain risk management program, strategy, objectives, policies, and processes are established and agreed to by organizational stakeholders
Evidence to have on file (guidance, our wording)
- Third party risk management program charter
- Supplier risk policy with tiering criteria
NIST CSF 2.0 GV.SC-05 Requirements to address cybersecurity risks in supply chains are established, prioritized, and integrated into contracts and other types of agreements with suppliers and other relevant third parties
Evidence to have on file (guidance, our wording)
- Standard supplier security requirements catalog
- Contract clause library with cyber obligations
Application question Do you perform a review to ensure customer requirements are sufficiently captured and documented?
No held control answers this line.
Application question Do you perform a technical review to ensure functional requirements can be met?
ISO 27001:2022 A.8.25 Secure development life cycle
Evidence to have on file (guidance, our wording)
- Documented secure development rules or SDLC standard covering environments, methodology, coding guidelines, security requirements, checkpoints, testing, repositories and version control
- Secure coding guidelines for each language in use
ISO 27001:2022 A.8.26 Application security requirements
Evidence to have on file (guidance, our wording)
- Approved application security requirements documents for new or acquired applications, derived from risk assessment with security specialist input
- Requirement checklists covering authentication, classification, access segregation, attack resilience, legal and privacy needs, data protection, encryption, input and output controls, logging and error handling
ISO 27001:2022 A.8.28 Secure coding
Evidence to have on file (guidance, our wording)
- Secure coding standards and a minimum baseline applying to in-house and outsourced development, updated from current threat and vulnerability information
- IDE and pipeline configuration enforcing secure coding checks, including SAST results and remediation records
SOC 2 CC8.1 Managing changes to procedures, software, data and infrastructure
Evidence to have on file (guidance, our wording)
- Change management policy covering normal, standard and emergency changes
- Sample of change tickets with approval, testing evidence and deployer different from author
SOC 2 PI1.3 Controls over system processing
Evidence to have on file (guidance, our wording)
- Job scheduling and processing monitoring with failure alerts
- Error queues and evidence of correction
NIST CSF 2.0 PR.PS-06 Secure software development practices are integrated, and their performance is monitored throughout the software development life cycle
Evidence to have on file (guidance, our wording)
- Secure SDLC standard with control gates
- Threat modeling outputs per project
NIST CSF 2.0 ID.RA-09 The authenticity and integrity of hardware and software are assessed prior to acquisition and use
Evidence to have on file (guidance, our wording)
- Quality assurance procedure for risk assessments
- Peer review records on assessment outputs
Application question Do you have formalized procedures in place to ensure your work product does not infringe on the rights of others?
This is a media liability question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Do you host sensitive data of your clients?
This is a scoping question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question If Yes, do you encrypt this data?
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
Application question Do you host sensitive data belonging to your clients' customers?
ISO 27001:2022 A.8.24 Use of cryptography
Evidence to have on file (guidance, our wording)
- The topic-specific cryptography policy with approved algorithms, key lengths, protocols and usage by information classification
- Evidence of encryption on endpoints, removable media and data in transit, aligned with the policy
SOC 2 CC6.1 Logical access security over protected information assets
Evidence to have on file (guidance, our wording)
- Asset inventory with classification for in-scope systems
- Identity provider configuration showing MFA and password policy
NIST CSF 2.0 PR.DS-01 The confidentiality, integrity, and availability of data-at-rest are protected
Evidence to have on file (guidance, our wording)
- Data at rest encryption inventory by store type
- Storage configuration baselines with attestation
NIST CSF 2.0 PR.DS-02 The confidentiality, integrity, and availability of data-in-transit are protected
Evidence to have on file (guidance, our wording)
- TLS configuration standards and scan results
- VPN and zero trust network access policy
Application question Do you currently have cyber liability insurance coverage?
This is a financials question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Do you currently have technology liability insurance coverage?
This is a financials question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Has any insurer declined, canceled, or nonrenewed any similar insurance issued to you?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Do you, including your executives, employees, or contractors, have knowledge or information of any act, error, omission, breach of duty, cease and desist letter, alleged breach of intellectual property rights, or any other circumstance which might reasonably be expected to give rise to: a. a claim made against you?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question b. a first party loss, including but not limited to a data breach, extortion threat, or other incident?
No held control answers this line.
Application question c. a loss of money, securities, or property due to social engineering, fraud, or other criminal acts?
ISO 27001:2022 A.6.3 Information security awareness, education and training
Evidence to have on file (guidance, our wording)
- A documented awareness, education and training programme aligned with the policies and planned by role, including external personnel
- Completion records for initial training of new starters and role changers and for periodic refreshers
ISO 27001:2022 A.5.3 Segregation of duties
Evidence to have on file (guidance, our wording)
- the bank or treasury platform dual-authorisation setup and the payment approval workflow, showing a second approver on a different device above the threshold
- the callback or out-of-band verification procedure for a change to payee bank details, with a dated example
ISO 27001:2022 A.8.5 Secure authentication
Evidence to have on file (guidance, our wording)
- An authentication standard linking required authentication strength to information classification and system criticality
- MFA configuration and coverage reports for critical systems, remote access and privileged access, including conditional or risk-based rules
SOC 2 CC1.4 Attracting, developing and retaining competent people (COSO principle 4)
Evidence to have on file (guidance, our wording)
- Background check policy and completed checks for a sample of new hires and contractors
- Role competency requirements and performance review records
SOC 2 CC2.2 Internal communication of objectives and control responsibilities (COSO principle 14)
Evidence to have on file (guidance, our wording)
- Security awareness training content and completion records
- Published information security policies accessible to staff with change notices
NIST CSF 2.0 PR.AT-01 Personnel are provided with awareness and training so that they possess the knowledge and skills to perform general tasks with cybersecurity risks in mind
Evidence to have on file (guidance, our wording)
- Security awareness program curriculum
- Completion records by population
NIST CSF 2.0 PR.AA-05 Access permissions, entitlements, and authorizations are defined in a policy, managed, enforced, and reviewed, and incorporate the principles of least privilege and separation of duties
Evidence to have on file (guidance, our wording)
- Access policy framework with role definitions
- Privileged access management deployment evidence
Application question Are you aware of any release, loss, or disclosure of Personally Identifiable Information in your care, custody, or control during the last three years?
Prior-knowledge question. This asks whether the applicant knows of any circumstance that could give rise to a claim. A wrong answer here is the classic route to a prior-knowledge exclusion or rescission, so it is the highest-consequence line on the form, not a line to leave unread. It reaches no control by itself: it is about what the applicant knows, not a control to hold.
No held control answers this line.
Application question Are you aware of any known network intrusion or denial of service attack during the last three years?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Have you or any of your predecessors in business, subsidiaries, affiliates, or any of your principals, directors, officers, partners, professional employees, or independent contractors ever been the subject of a regulatory action as a result of the handling sensitive data, including a civil investigative demand, consent order, or investigation by an Attorney General or other industry body?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question During the past five years, have any claims been made or legal action brought against you or your executives, employees, or contractors, or any related entities for which coverage is desired or any predecessors in business, subsidiaries, affiliates or any principal, director, officer, or employee?
This is a loss history question, not a control requirement. It reaches no held control.
No held control answers this line.
Application question Have you reported any of the matters listed in Claims Details Questions 29 through 33 to your current or former insurance carrier?
This is an attestation question, not a control requirement. It reaches no held control.
No held control answers this line.
Controls not asked in this held document (197)
None of this held document's questions reach 197 of the 290 held controls (for example A.5.5, A.5.6, A.5.7, A.5.8, A.5.9, A.5.10, A.5.11, A.5.12). That is a fact about this held document, not about what the carrier underwrites on: a carrier's fuller forms and supplements ask controls this summary does not, multi-factor authentication, offline backups and patching among them. A control here is not asserted as required, and not asserted as not required.